As a unit of the Compliance Department, the Transaction Compliance Associate is responsible for monitoring all portfolios managed by the firms Outsourced Chief Investment Officers (OCIOs) for compliance with the firm and client’s investment guidelines.
- Creating and maintaining appropriate Excel models to monitor portfolio compliance both pre- and post-trade.
- Assist the Transaction Compliance Manager in proposing policy amendments to address identified risks and/or inefficiencies.
- Providing coverage for absent Trade Compliance team members
- Some relevant work experience within the financial services industry, preferably in an investment compliance or audit environment preferred.